Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
LPL Calls Ameriprise Data-Breach Notices 'Defamatory'
By Melanie Waddell"Ameriprise has sunk to a new low" by sending breach notices to clients whose advisors switched firms, LPL says.
April 11, 2025
Trump Signs Bill Blocking IRS Crypto Tax RuleThe rule aimed to force some exchanges to provide tax information on transactions conducted on their platforms.
April 11, 2025
Edward Jones Files to Launch a BankEdward Jones Bank would operate independently, with its main office in the Salt Lake City area.
April 10, 2025
Paul Atkins Takes Helm of a Very Different SECThe new chair must grapple with turbulent markets, tariffs, DOGE on site and a slimmed-down agency.
April 10, 2025
Paul Atkins Confirmed to Lead SECThe Wall Street consultant steps into the role a week after President Trump’s sweeping tariffs unleashed market turmoil.
April 09, 2025
NASAA Votes to Restrict BDs' Use of 'Adviser,' 'Advisor'The new model rule prohibits reps from using these titles unless they are also registered as advisors.
April 09, 2025
SEC Weighs Raising AUM Threshold for Advisor RegistrationThe move makes sense but could create headaches for midsize advisors in some states, compliance pros say.
April 08, 2025
Fired Edward Jones Broker Charged With Fraud, Money Laundering in Alleged Theft From WidowJohn Winslow is accused of taking over $920,000 from a client and trading gold coins to conceal it.